Michael A. Dawes
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael Andrew Dawes was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1972. Michael had worked at 6 firms and has passed the Series 63, PC, Series 000, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 28, 1998 - February 23, 2007
EMMETT A LARKIN COMPANY, INC.
January 24, 1997 - June 12, 1998
THE HERITAGE GROUP, INC.
March 18, 1993 - December 20, 1996
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 5, 1991 - February 2, 1993
NYLIFE SECURITIES LLC
December 12, 1972 - October 30, 1977
L. F. ROTHSCHILD & CO. INCORPORATED
December 7, 1972 - November 17, 1989
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 8/31/1977
AMEX Put and Call ExamSeries 000
Date: 12/7/1972
General Securities Principal ExaminationSeries 1
Date: 12/7/1972
Registered Representative ExaminationCurrent Firm
EMMETT A LARKIN COMPANY, INC.
CRD#: 6625 / SEC#: , 8-11922
Contact information
Documents
Disclosures
| Regulatory Event | 22 |
| Arbitration | 14 |
Red Flags
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